July 13-14, 2015
Sheraton Denver Downtown

THE WORLD’S LARGEST ALTERNATIVES
EVENT FOR FINANCIAL ADVISORS

This event brings together financial advisors, RIAs, independent and wirehouse reps, private bankers, wealth advisors, trust officers and family office executives to learn about and discuss various categories of alternative investments, including REITs, Hedge Funds, Specialty ETFs and Mutual Funds, Private Equity, Managed Futures, Options, Commodities, Derivatives and Structured Products, Life Settlements and Premium Finance.

 

Keynote Speakers

Speakers

Kevin Albert

Kevin Albert is a member of the partnership board and is responsible for business development and client service activities globally at Pantheon. Albert previously worked at Elevation Partners where he was in charge of fundraising and investor relations. For the 24 years prior to joining Elevation, Albert ran the global private equity placement group at Merrill Lynch. He has a B.A. in economics and an M.B.A. in finance from the University of California, Los Angeles. Albert is based in New York.

Isaac Braley

Isaac Braley, president, director, and investment committee member of BTS, joined the firm in 1999. Braley has served as a significant contributor to portfolio analysis and creation. Braley is head of distribution for the organization. He has a B.S. in business and management from Keene State College and an M.S. in financial planning from the College of Financial Planning.

Rick Brandt

Rick Brandt is lead portfolio manager for the RS Focused Growth Opportunity and RS Focused Opportunity strategies. He is also a member of the RS Solutions Team. Brandt began his investment career in 2004 and joined RS Investments in 2014. Previously he was a portfolio manager at Cerebellum Capital where he was responsible for the firm’s multi-strategy long/short portfolio.

Steven Brod

Steven Brod has over 15 years of hedge fund experience, launching and managing multiple fund-of-hedge-fund vehicles. Having a keen understanding of the industry, in 2007 he founded Crystal Capital Partners, providing financial advisors with customized hedge fund portfolio solutions. Brod is primarily responsible for the company’s strategic direction as well as manager selection and investment support services.

Brody J. Browe

Brody Browe is an executive director in the Fund Strategy group at Franklin Square. Browe serves as a portfolio specialist and subject matter expert for Franklin Square’s current offerings. He is a key member of Franklin Square’s investment team and is involved in fund development and management. In this role he works closely with GSO/Blackstone. Browe brings extensive knowledge of the capital and credit markets from his previous roles.

Bo Brustkern

Bo Brustkern is co-founder and chief executive officer of NSR Invest. Prior to co-founding NSR Invest, Brustkern co-founded LendIt, the world’s preeminent conference focused on the marketplace lending industry. Brustkern is also a partner at Lend Academy, the leading online news and education source for the marketplace lending industry.

Bill Burrow

Bill Burrow is responsible for leading the distribution effort for Elite Access, Jackson’s investment-only variable annuity. He previously served as senior vice president of fixed products distribution at John Hancock Financial Services, and prior to that, Burrow was general manager of John Hancock’s US college savings business. Burrow earned a bachelor’s degree in business administration from the University of Washington and is a certified public accountant.

John Cadigan

John Cadigan directs the wholesale distribution of an array of specialized investment programs. Over his 25+ year career, he has assembled effective wholesale distribution teams for traditional and alternative investment products and educated financial advisors through various speaking and media engagements.

Anthony J. Caine

Anthony Caine is founder and chairman of LJM Partners, an alternative investment firm founded in July 1998 that is recognized for outstanding options strategies. Caine also dedicates a significant amount of time to charitable causes, serving on the board of directors for Summit 54 and Rocky Mountain Prep, a Denver-based charter school.

Lawrence Calcano

Lawrence Calcano is one of the managing partners of iCapital Network, where he is responsible for the company’s investor network and business development. Calcano previously was a partner at Goldman, Sachs & Co., where he spent 17 years, most recently serving as the co-head of the Global Technology Banking Group of the investment banking division. Calcano serves on the board of 1-800-FLOWERS.COM, Capitol Acquisition II and Bite Tech. He was named to the Forbes Midas List for five years.

Eric Cott

As a representative for The Options Industry Council (OIC) and serving as director of financial advisor education, Eric Cott endeavors to help advisors and their firms to use options more effectively. Cott is responsible for expanding OIC’s outreach to financial advisors. Additionally, he participates in conference panel discussions, presents advisor-oriented educational seminars, and guides the development of options curriculum and content for the OIC advisor website.

Jason Cross

Jason Cross joined Whitebox in 2001. As the global head of equity strategies, Cross oversees the development and execution of alternative equity strategies at the firm. During his time at Whitebox, Cross has spent more than a decade developing sophisticated quantitative models and fundamental investment processes to support the firm’s equity investment efforts.

Joseph K. Cunningham

Joseph K. Cunningham has over 30 years of experience spanning investment product and business development, strategic relationships management and the implementation of trading models for global equities and derivatives markets. He joined Horizons ETFs Management (USA) LLC in April 2013 as executive vice president and head of capital markets. In this role, he oversees all market-making and capital-market trading relationships for Horizons ETFs in the United States and assists with institutional distribution.

Jeffrey P. Davis

Jeffrey Davis is the chief investment officer and management committee member for LMCG Investments. He is portfolio manager of the LMCG Global Multi-Cap Fund. Previous positions include chief investment officer at Rockefeller & Co., State Street Global Advisers and the Boston Company. He holds a B.A. from Duke University, an M.B.A. from Vanderbilt University and a CFA.

Carlton Delfeld

Carl Delfeld is managing partner of the alternatives firm Chartwell Partners and the Blackthread Group, a peer-to-peer group of accredited investors. He is a specialist on emerging markets and Asia, served on the board of the Asian Bank in Manila and was an advisor to the U.S. Treasury.

Benjamin R. Deschaine

Ben Deschaine began his investment career in 1998 and is responsible for managing Balter’s mutual fund products. He was in charge of hedge fund and private equity research at Federal Street Advisors and also worked directly within a hedge fund, Sabretooth Capital Management, one of Julian Robertson’s “Tiger Cubs.”

Derek Devens

Derek Devens is a member of the investment committee and co-manages the Kinetics Alternative Income and the Kinetics Multi-Disciplinary mutual fund. Previously, Devens held roles at Goldman Sachs and Fischer Francis Trees & Watts. He received a B.S. from Princeton University and an M.B.A. from New York University.

Burl East

Burl East has 30 years of experience on Wall Street as a managing director and as an NASD broker-dealer member-owner. He has raised approximately $15 billion in capital (mostly equity) from sophisticated investors globally in 142 large-scale real estate transactions. He currently serves on leadership council at USC’s Lusk Center for Real Estate and board of directors of Excel Trust, Inc.

Patrick Galley

Patrick Galley joined RiverNorth in 2004 and serves as chief investment officer and portfolio manager. Galley heads the firm’s investment team and oversees all portfolio management activities at RiverNorth. Galley also serves as the president and chairman of RiverNorth Funds. Prior to joining RiverNorth, Galley was vice president at Bank of America in the Global Investment Bank’s portfolio management group.

Michael Gaviser

Michael Gaviser joined KKR in 2012 and is a member of the Client and Partner Group. He leads the firm’s global efforts for registered products, where he focuses on fund-raising, new products, marketing and distribution. Prior to joining KKR, he spent 15 years at Alliance Bernstein and was also head of international equities sales in London and head of large market sales for Sanford C. Bernstein. Gaviser earned a B.A. from the University of Pennsylvania and an M.B.A. from Columbia Business School.

Hannah Shaw Grove

Hannah Shaw Grove is a senior vice president and chief marketing officer for iCapital Network, an online marketplace that provides private equity to individuals. She is the author of Inside the Family Office: Managing the Fortunes of the Exceptionally Wealthand The Family Office: Advising the Financial Elite.

Brian Haskin

Brian Haskin is the founder and chief executive officer of Alternative Strategy Partners, a registered investment advisory firm focused on providing alternative investment solutions to institutional and high-net-worth investors. Haskin is also the founder and publisher of DailyAlts.com, a news and information website focused on liquid alternative investments.

Jeremy Held

Jeremy Held began his career at ALPS in 1996 and has more than 18 years of experience in the asset management industry. He is responsible for research, product development, and consulting services on behalf of the ALPS ETF, mutual fund, and closed-end fund business segments.

Matt Hougan

Matt Hougan oversees the company’s editorial, data and analytics efforts and conferences. He is quoted regularly in the Wall Street Journal, Barron’s, Investor’s Business Daily, Fortune, Forbes, TheStreet.com, MarketWatch.com, and the Associated Press, and was recently named one of the 25 most influential people in the ETF industry. He is a regular guest on CNBC.

Ben Hunt

Ben Hunt is the chief risk officer of Salient Partners, a $20 billion asset manager based in Houston, Texas. Hunt is also the author of Epsilon Theory, read weekly by more than 30,000 investors, and he is a featured contributor to Forbes, Zero Hedge, Seeking Alpha, and other media outlets.

Brian Jacobs

Brian Jacobs has over 25 years of leadership experience in asset management. Prior to Direxion, he was chief executive officer of Hatteras Funds, founded Jacobs Strategic Consulting and consulted for numerous asset managers. From 1990 through 2008, he built and led two large, successful distribution organizations at Eaton Vance and Allianz/PIMCO. He also holds the CIMA designation.

Dan Jamieson

Dan Jamieson is editor-at-large for Financial Advisor magazine. He is a widely read veteran journalist covering the retail financial services industry, known for digging into issues such as industry regulation and litigation, broker compensation practices, Wall Street managements, RIA custodians, and B-Ds. Prior to his journalism career, Jamieson was himself a broker with Dean Witter Reynolds.

Bob Jesenik

Bob Jesenik has more than 30 years of expertise in corporate finance and investment management. As co-founder of Aequitas Capital, he has provided leadership in structuring the majority of the firm’s transactions since its inception in 1993. He chairs the firm’s investment committee and oversees the activities of the firm’s healthcare and private credit opportunities.

Christine M. Johnson

Christine M. Johnson is a managing director and head of alternatives product management. Prior to joining AB in 2013, she was a director at Deutsche Asset & Wealth Management. Johnson holds a B.A. in finance with a minor in economics from Pace University and an M.B.A with a double concentration in international finance and information systems from Fordham University.

Jeff Johnson

Jeff Johnson has served as chief executive officer for Dividend Capital Diversified Property Fund since January 2013. Johnson served as managing principal of Lakeshore Holdings, LLC, a private equity real estate firm that he founded, from 2007 through December 2012. He also served as founder and managing principal of Reunion Office Holdings, LLC and as chief investment officer and managing director of Transwestern Investment Company, now known as Pearlmark Real Estate Partners.

Jeff Joseph

Jeff Joseph, chief executive officer of alternative investment forum alphapages.com, previously headed alternative investment strategies at Rydex Investments, where he developed a groundbreaking 5B alternative investment platform. He is co-managing partner of Prescient Capital, a boutique venture investment firm, and sits on the investment committee of the iSelect venture capital fund.

William J. Kelly

William J. Kelly, chief executive officer of the CAIA Association, is an asset management industry veteran with extensive managerial and boardroom experience gained through successive chief financial officer, chief operating officer, chief executive officer and independent board director roles. He is the former chief executive officer of Robeco Investment Management, a subsidiary of the Netherlands-based global asset management organization, where he oversaw all aspects of United States business.

Lawrence Kissko

Lawrence Kissko is a portfolio manager of the American Beacon AHL Managed Futures Strategy Fund and a client portfolio manager for AHL Partners LLP. He joined AHL in July 2014. He holds an M.B.A. from Duke University and a B.S. in economics from the Wharton School at the University of Pennsylvania.

Jeff Landle

As its chief investment officer, Jeff Landle is responsible for setting Little Harbor Advisors’ investment strategy and allocation decisions. He oversees the manager search, selection and monitoring functions, and chairs the investment committee. Landle was an early adopter and innovator of seeding and direct investing in hedge funds at the Common Fund, Blackstone Alternative Asset Management and HVB Alternative Advisers Inc., and is a frequent speaker and commentator on the industry.

Ryan Levitt

Ryan Levitt joined Pomona Capital in 2007 and focuses on portfolio construction, investment analysis and deal sourcing for Pomona’s secondary fund of funds, primary fund of funds and co-investment businesses. He has 10 years of private equity experience. Before joining Pomona, Levitt was an investment professional at GE Capital, managing deal underwriting and execution in the energy, health care and financial services sectors.

Eddie Lund

Eddie Lund joined Gemini Fund Services LLC in 2007, and in 2013, his role was expanded to include Gemini Hedge Fund Services, LLC. Lund started in the sales industry in 2000, and in his current role, he is responsible for new business development, including managing the sales process used to attract new clients to Gemini.

Lara Magnusen

With over 15 years of industry experience, Lara Magnusen serves as portfolio strategies and portfolio manager for Altegris Advisors and is a member of the investment committee. Magnusen has worked at Altegris since 2005, previously serving as the director of investment products and director of research and investments for Altegris Advisors.

Keith McCullough

Prior to founding Hedgeye Risk Management, Keith McCullough built a successful track record as a hedge fund manager at the Carlyle-Blue Wave Partners hedge fund, Magnetar Capital, Falconhenge Partners, and Dawson-Herman Capital Management. McCullough routinely appears on financial TV and radio including CNN and Fox Business, and has been a contributor for CNBC and Bloomberg.

William H. Miller

William H. Miller, chief investment officer of Brinker Capital, chairs the company’s investment committee and sets the investment philosophy and process. He is responsible for asset allocation, manager selection and review and alternative investments for Brinker Capital. He holds a B.A. in economics from Trinity College.

Ali Motamed

Ali Motamed is a long/short generalist with Boston Partners, specializing in fundamental research of stocks held in their long/short equity product. He is also an associate portfolio manager on the long/short product. He joined the firm after holding positions at Deutsche Bank and BT Wolfensohn. Motamed holds a B.A. degree in economics with a minor in accounting from the University of California, Los Angeles, and an M.B.A. degree from Harvard Business School.

Gloria S. Nelund

Gloria S. Nelund has served as chairman and chief executive officer of SC Distributors since its formation in April 2012. In addition, she has served as the chairman and chief executive officer of its advisor since its formation in April 2012 and as the chairman and chief executive officer of their Sponsor since its formation in August 2008.

Ross M. Posner

Ross Posner leads Ridgewood Private Equity Partners, bringing more than two decades of successful private equity investing experience across energy, real assets, and other sectors. Posner was one of three executives leading the private equity business in Allstate Investments’ $80+ billion investment company. Posner received an M.B.A. from Northwestern University and a B.S. from Syracuse University.

Trey Reik

Trey Reik, a 33-year veteran of the investment management business, is a senior portfolio manager and precious metal strategist at Sprott Asset Management USA, Inc. Reik has dedicated the past 13 years to precious-metal investing. Prior to Sprott, he served as managing member of Bristol Investment Partners LLC. Reik has written extensively on precious metals markets and monetary policy and is a recognized public speaker on these topics.

Brian Rice

Brian Rice joined Aequitas Capital in 2014, bringing over 20 years of experience in private, retail, corporate and business banking. As a partner of Aequitas Capital, he drives strategy and growth initiatives for the wealth management platform, including Aequitas Capital Partners, Hickory Growth Partners, and Aspen Grove. Prior to this role, he served as regional president at KeyBank, where he oversaw the Community Bank franchise.

Jack Rivkin

As chief investment officer, Jack Rivkin provides oversight of the Altegris research and investments group and is a member of the Altegris investment committee. Rivkin has overall responsibility for identifying, selecting and monitoring fund managers across multiple investment disciplines, and managing asset allocation and research for Altegris products. In addition, he is a key representative of Altegris in the investment community.

Jay Rollins

Jay Rollins is a managing principal and co-founder of JCR. He leads the firm’s strategy and investment policy. From 1999 to 2005, Rollins was a managing director at GMAC Commercial Mortgage and ran a $500 million high yield investment program. Prior to GMAC, Rollins was the president and founder of Eastern Realty Corporation, an “RTC era” real estate investment company.

Ben Rotenberg

Ben Rotenberg is a portfolio manager for Principal Management Corporation. In this role, he is responsible for conducting research, assessing risk, and making relative value recommendations relating to specific aspects of the Principal Global Diversified Income Fund, Diversified Real Asset Fund, and Global Multi-Strategy Fund.

Edward Russell

Edward Russell joined Tortoise Capital in 2006. Since then, he has participated in marketing all of Tortoise’s new closed- and open-end funds. He served as president of Tortoise Capital Resources from April 2007 to June 2012. Previously, Russell was a managing director at Stifel, Nicolaus & Company Inc., where he headed the energy and power group.

Jeffrey Sarti

Jeffrey Sarti is currently co-president and member of the board of managers, as well as the investment committee, at Morton Capital. From 2004 through 2007, he served as the firm’s chief investment officer. Sarti earned his B.S. in biology from Stanford University and his M.B.A. in finance from the Anderson School at the University of California, Los Angeles.

Jeffrey J. Sherman

Jeffrey Sherman joined DoubleLine in 2009, is a member of the fixed income asset allocation committee and a portfolio manager for derivative-based and multi-asset strategies. Before DoubleLine, he was a senior vice president at TCW where he worked as a portfolio manager and quantitative analyst.

Brandon Smith

Brandon Smith is a product specialist and a member of Boston Partners’ relationship management team. Prior to this, Smith was a vice president and senior investment analyst at Evestnet Asset Management. Before that, Smith held investment analyst roles within the fund-of-hedge-funds groups at Gottex Fund Management and Columbia Partners Investment Management. Smith holds a B.A. in political science from Dartmouth College. Smith has nine years of industry experience.

Clifford Stanton

Clifford Stanton, a certified financial planner, is chief investment officer at 361 Capital. He is responsible for managing the investment group, where he oversees investment research and strategy development, portfolio construction, and portfolio management. Stanton also leads the portfolio solutions group, which provides asset allocation guidance, fund analysis and portfolio research to the firm’s investment advisor clients and prospects.

Mark Sunderhuse

Mark Sunderhuse is a founder and managing director of Red Rocks Capital. Before forming the firm in 2003, he was a partner and portfolio manager at Berger Financial Group, now Janus Capital Group.

Michael Underhill

Michael Underhill, chief investment officer, is frequently asked to speak on topics regarding real asset investing. He is author of the Handbook of Infrastructure Investing, has published over 100 industry papers and remains one of the world’s most provocative, respected financial analysis. His mutual fund and separate account strategies have won numerous awards worldwide.

Dorothy Collins Weaver

Dorothy Collins Weaver is chief executive officer and co-founder of Collins Capital, which has specialized in delivering alternative investment solutions since 1995. Weaver is the former chairman of the Federal Reserve Bank of Atlanta, Miami Branch. She has also served on the investment committee of the American Red Cross and chaired the finance committee of Wellesley College.

Michael Winchell

Michael Winchell is chief investment officer and managing member of Larkin Point Investment Advisors LLC. Winchell served Mariner Investment Group as portfolio manager from 2008 to 2012. From 1999 through 2007, Winchell served as chief operating officer of Bear Wagner Specialists. From 1989 through 1999, Winchell was chief risk officer of Bear Stearns & Co., and a member of the Bear Stearns’ board of directors.

Agenda
Subject to change

July 13, 2015

7:00 am - 5:00 pm

Registration


7:00 am - 8:00 am

Breakfast with Exhibitors


8:00 am - 8:10 am

Opening Remarks and Chairperson Welcome

David Smith


8:10 am - 9:00 am

A World With Elevated Risk Levels

Accepted for CFP Board CE Credit
While financial assets are priced for perfection, it's hard to find a place in the world where the balance of power looks stable. From the South China Sea to the Middle East to Africa and South America, geopolitical turbulence and economic problems make the planet a more precarious place than the markets would lead one to believe. In this session, a global chief risk officer and a top-ranked long-short equity manager will examine the risks and opportunities in detail.

Moderator:

Evan Simonoff, Financial Advisor and Private Wealth magazines

Panelists:

Ben Hunt, Salient Partners
Ali Motamed, Boston Partners


9:05 am - 9:55 am

SESSION A

Making Smart Beta Work For Your Clients

Accepted for CFP Board CE Credit
A decade ago, asset managers began building portfolios based on the concept of exploiting market inefficiencies by severing the link between an asset's price and its weight in the portfolio. The idea, which came to be called smart beta, has spawned a wave of different strategies, such as fundamental indexing and minimum variance and imaginative methods of sector rotation. This session will examine several strategies that offer clients advantages that traditional indexing does not.

Moderator:

Dan Jamieson, Financial Advisor and Private Wealth magazines

Panelists:

Brian Jacobs, Direxion
Speaker TBD, Cedar Capital
Simeon Hyman, ProShares


SESSION B

Research Alternatives, Red Flags, and Warning Signs

Accepted for CFP Board CE Credit
The landscape of alternative investments is sprawling. It encompasses vehicles that offer both upside opportunities and the ability to diversify a portfolio in ways traditional investments fail to address. But some alternative investments present potential pitfalls that advisors must be aware of. In this session, several experts will offer their thoughts on what to look for.

Moderator:

Brian Haskin, Alternative Strategy Partners

Panelists:

Jeffrey Davis, LMCG
Jeff Sarti, Morton Capital


10:00 am - 10:30 am

Morning Networking Break with Exhibitors


10:35 am - 11:25 am

SESSION A

Improving Asset Allocation with Alternatives

Accepted for CFP Board CE Credit
Carefully selected alternative investments can provide alpha and act as hedges, and can be useful in smoothing returns. Learn what to look for in alternative investments and how they can be used to enhance asset allocation models.

Moderator:

Carl Delfeld, Chartwell Partners

Panelists:

Jason Cross, Whitebox Mutual Funds
Bo Brustkern, NSR Invest
John Cadigan, Behringer
Bill Miller, Brinker Capital


SESSION B

Managed Futures Beyond Trend Followers

Accepted for CFP Board CE Credit
The term "managed futures" has become synonymous with systematic trend following strategies, which gained a lot of attention in 2008. However, the managed futures category encompasses many other strategies that are uncorrelated with equity markets as well as other alternative categories.

Moderator:

Jack Rivkin, Altegris

Panelists:

Cliff Stanton, 361 Capital
Larry Kissko, AHL Partners / American Beacon


11:30 am - 12:20 pm

SESSION A

The Many Paths to Real Assets Investing

Accepted for CFP Board CE Credit
As growth in emerging markets is producing what some view as secular, long-term global demand for real assets, the question facing advisors are examining how to gain exposure to an uncorrelated asset class. This session will explore a variety of ways to invest in real assets that include investing in securities, futures and long-short strategies.

Moderator:

Michael Underhill, Capital Innovations

Panelists:

Jeff Sherman, DoubleLine
Trey Reik, Sprott


SESSION B

Tail Risk Management: Using Tactical Strategies to Capture Trends

Accepted for CFP Board CE Credit
Markets since the financial crisis have been characterized by numerous anomalies, including bouts of unprecedented volatility. In this session, managers will outline strategies with the ability to perform well in normal markets, while dramatically limiting risk in down markets, and reducing overall volatility.

Moderator:

Jeff Schlegel, Financial Advisor and Private Wealth magazines

Panelists:

Isaac Braley, BTS Asset Management


12:20 pm - 1:30 pm

Lunch Keynote

John Mauldin

Sponsored by

1:30 pm - 2:05 pm

Dessert Break with Exhibitors


2:10 pm - 3:00 pm

SESSION A

Limiting Downside Risk with Alternative Options-Based Strategies

Accepted for CFP Board CE Credit
The extraordinary volatility that the financial markets experienced in 2008 and 2009 prompted clients to reassess their risk tolerance levels. It also caused many advisors to explore new ways to control risk. This session examines how advisors can employ options and other derivatives to limit the downside risk to a client's portfolio.

Moderator:

Eric Cott, Options Industry Council

Panelists:

Joseph Cunningham, Horizon ETFs
Brian Rice, Aequitas
Michael Winchell, Larkin Point


SESSION B

Liquid Alternatives: Generating Alpha with ETFs, ETNs and Hedge Fund Mutual Funds

Accepted for CFP Board CE Credit
While many advisors utilize traditional alternative investments to generate greater returns, "liquid alternatives" in the form of ETFs, ETNs, and hedge fund mutual funds can provide similar alpha with more liquidity. This panel will address how "liquid alternatives" can diversify client assets and improve risk-adjusted returns.

Moderator:

Matt Hougan, ETF.com

Panelists:

Patrick Galley, RiverNorth
Rick Brandt, RS Investments
Christine Johnson, AB Global


3:05 pm - 3:55 pm

SESSION A

Understanding Real Estate Alternatives

Accepted for CFP Board CE Credit
Real estate markets have been improving. Our panel will provide an overview of asset class pros and cons and debate underlying fundamentals that can assist in determining which programs and sponsors are appropriately suited for various clients. These will include trends and potential in rental growth, absorption, tenancy, TIs and LCs, organic growth vs. value creation, intrinsic vs. market force driven stability, and more.

Moderator:

Jay Rollins, JCR Capital

Panelists:

Burl East, American Assets Capital Advisers
Jeff Johnson, Dividend Capital


SESSION B

Diverse Strategies to Generate Income

Accepted for CFP Board CE Credit
With low interest rates likely to prevail for the foreseeable future, advisors need to investigate ways for clients to earn income from their investments in an environment of financial repression. This session will examine a variety of investment vehicles that are available and explore their pros and cons.

Moderator:

Christian Magoon, YieldShares

Panelists:

Lara Magnusen, Altegris
Gloria Nelund, TriLinc Global
Derek Devens, Horizon Kinetics


4:00 pm - 4:35 pm

Afternoon Networking Break with Exhibitors


4:40 pm - 5:30 pm

SESSION A

MLPs, a Compelling Asset Class

Accepted for CFP Board CE Credit
Master limited partnerships provide a crucial service that's always in demand - the distribution of energy resources. Most are liquid securities that are easy to track and trade. In the last decade, these investments annually outpaced the S&P 500, and advisors who have put in the time to study them have been able to deliver income and low volatility to clients. This session will provide an overview of the MLPs, how they work, and how you can use them in client portfolios.

Moderator:

Jeff Schlegel, Financial Advisor and Private Wealth magazines

Panelists:

Ed Russell, Tortoise Capital Advisors from Montage Investments
Jeremy Held, ALPS


SESSION B

Evaluating Private Equity and Venture Capital Opportunities

Accepted for CFP Board CE Credit
Opportunities in private equity and venture capital are always changing. Investment managers discuss how they evaluate these opportunities and describe how they assess risk and reward.

Moderator:

Jeff Joseph, Alphapages.com

Panelists:

Michael Gaviser, KKR
Mark Sunderhuse, ALPS, Red Rocks Capital
Ryan Levitt, Pomona Capital
Kevin Albert, AMG/Pantheon


5:30 pm - 6:30 pm

Cocktail Reception

Sponsored by

July 14, 2015

7:00 am - 8:00 am

Breakfast with Exhibitors


8:00 am - 8:10 am

Chairperson Recap


8:15 am - 9:15 am

Breakfast Keynote

An Hour with Larry Kudlow


9:20 am - 10:10 am

SESSION A

Beyond Liquidity: Evaluating Traditional Hedge Funds with '40 Act Alternatives

Accepted for CFP Board CE Credit
Hedge funds structured in a mutual fund format offer investors transparency and liquidity. But there are situations when other features and attributes, including illiquidity, work to the client's advantage. This session will take an agnostic approach to examining the costs and benefits of both vehicles.

Moderator:

Eddie Lund, Northern Lights/Gemini

Panelists:

Anthony Caine, LJM Partners
Bob Jesenik, Aequitas
Jeff Landle, Little Harbor


SESSION B

Business Development Companies

Accepted for CFP Board CE Credit
2012 was a year of extraordinary growth for BDCs, which can earn lucrative returns by providing loans to small to mid-sized companies. BDC's pay out 90% of their income and many provide very attractive yields for investors. However, not all BDCs are the same or offer the same quality of investments. Learn what to look for in evaluating these alternatives.

Moderator:

Dan Jamieson, Financial Advisor and Private Wealth magazines

Panelists:

Brody Browe, Franklin Square


10:15 am - 11:05 am

SESSION A

Achieving Tax Efficiency with Alternatives

Accepted for CFP Board CE Credit
This panel will address how advisors can use tax efficient alternative strategies to generate high levels of tax-free income while maximizing after-tax return and remaining neutral to changes in interest rates. These strategies may also offer significant diversification benefits.

Moderator:

Matt Nitschke, Millennium

Panelists:

Bill Burrow, Jackson National
Kristine Delano, NextShares


SESSION B

Absolute Return Funds

Accepted for CFP Board CE Credit
Absolute return funds encompass a wide variety of low-volatility styles, from risk arbitrage to global macro to currencies and equity-rotation strategies. In this panel, leading managers will discuss how they try to achieve solid returns that are not correlated to major market indexes.

Moderator:

Jeff Schlegel, Financial Advisor and Private Wealth magazines

Panelists:

Ben Deschaine, Balter
Dorothy Weaver, Collins Capital
Ben Rotenberg, Principal


11:05 am - 11:40 am

Networking Break With Exhibitors


11:40 am - 12:30 pm

SESSION A

Accessing & Allocating Alternatives

Accepted for CFP Board CE Credit
You may know why you should use alternative investments in an asset-allocation model, but are unsure of how large of an allocation to make in the average client's portfolio. Which strategies make the most sense to gain exposure yet remain simple so the client can understand the investment? ETFs? Mutual funds? Panelists also discuss investment minimums, fees and liquidity issues associated with alternatives, as well as the solutions, including feeders, intermediaries and platforms. Come learn what makes the most sense for you and your clients.

Moderator:

William Kelly, CAIA Association

Panelists:

Christine Johnson, AB Global
Brian Rice, Aequitas
Steven Brod, Crystal Capital Partners


SESSION B

How to Compare Public vs. Private Investments

Accepted for CFP Board CE Credit
Every investment opportunity must be evaluated on its own merits, and this is especially true for private investigations that often have different structures, sources of alpha, and key metrics. This session will examine the primary differences between private placements (such as hedge funds and private equity) and mainstream public investments, while discussing the best tools and processes for research, analysis, and due diligence.

Moderator:

Evan Simonoff, Financial Advisor and Private Wealth magazines

Panelists:

Lawrence Calcano, iCapital Network
Keith McCullough, Hedgeye Risk Management
Ross Posner, Ridgewood Private Equity Partners


12:30 pm - 2:00 pm

Lunch Keynote
Lone Survivor: A Tribute to Courage, Honor and Patriotism

Marcus Luttrell


2:00 pm - 3:00 pm

Long-Short Equity Funds

Accepted for CFP Board CE Credit
In a slow-growth global economy where many companies are struggling to achieve top-line revenue growth, the reality is there are often as many losers as there are winners. When one layers the increasing pace of technological change and disruption on top of that, it creates a business climate that is downright Darwinian. In this session, long-short equity funds that pick both winners and losers will explain their methodologies and outlooks.

Moderator:

Dan Jamieson, Financial Advisor and Private Wealth magazines

Panelists:

Brandon Smith, Boston Partners


3:00 pm

Conference Ends


Platinum Sponsor

Sponsors and Exhibitors

361 Capital

361 Capital is an award-winning, liquid alternative investments firm focused on providing institutional quality mutual funds to investment advisors and their clients. Since its founding in 2001, the firm has been exclusively focused on alternative investments, creating innovative portfolio solutions that seek to lower risk, enhance returns, and provide transparency.

AB

AB is a leading investment-management firm with $475 billion in client assets under management. They provide forward-looking perspective, independent research and investment discipline across all asset clients, leveraging their extensive global footprint – to help keep their clients ahead of tomorrow.

AdvisorShares

AdvisorShares is one of the leading providers of actively-managed ETFs. AdvisorShares provides educational support to help investors understand ETFs, and the underlying investment strategy for each AdvisorShares ETF. AdvisorShares seeks qualified sub-advisor partners to offer compelling investment strategies in an active ETF structure. Visit www.advisorshares.com to learn more.

Aequitas Capital

Funded in 1993, Aequitas Capital is a diversified financial services company that creates alternative investments including private equity, private credit and specialty finance. The firm employs its network of industry experts to invest in under-served sectors including education, healthcare and Fin Tech. Aequitas helps its portfolio companies and strategic partners reach their goals by providing management expertise, technology infrastructure and a network of support services.

www.aequitascapital.com

ALPS

ALPS Portfolio Solutions is an asset manager based in Denver, CO with $16 billion in assets under management. They offer innovative portfolio solutions that help financial advisors and institutional investors build better portfolios. They specialize in satellite and alternative asset classes focusing on private equity, MLPs, commodities, alternative income, global real estate, sectors and emerging markets.

For additional information about ALPS products, please visit – www.alpsfunds.com

Altegris

Altegris searches the world to find what they believe are the best alternative investments. Their suite of alternative investment solutions are designed for financial professionals and individuals seeking to improve portfolio diversification.

ALTMFX

ALTMFX is a liquid alternatives platform designed to bring niche hedge fund strategies to the retail wealth management and retirement marketplace. The platform offers a diverse range of alternative fund strategies as open-ended mutual funds providing direct access to some of the leading portfolio managers in the alternatives market. The funds are available directly and on the main custodial platforms.

American Beacon

American Beacon Advisors are a series of low-cost, style-pure mutual funds. The funds employ a “manager of managers” strategy and partners with who they consider to be the “best of the best” sub-advisors offering a variety of international and domestic equity and fixed-income solutions. As of September 30, 2014 American Beacon Advisors managed over $55 billion in assets. www.americanbeaconfunds.com

AMG Funds

AMG Funds provides access to premier boutique asset managers through a unique partnership where our fund advisors are truly independent. We are not beholden to a single investment approach or a single manager to help find the best investment solutions. Our innovative approach leverages our independent advisors’ expertise to deliver products that cover the complete asset class spectrum. Combine this with the most efficient delivery of investment expertise in the asset management business and you have unmatched resources to meet your wealth management needs.

Pantheon

Pantheon is a leading global private equity fund investor. We manage regional primary investments, global secondary and infrastructure investments and customized separate account programs. Pantheon has around 198 staff, including 70 investment professionals, and has $31.4 billion in assets under management*. Pantheon was founded in 1982 and now invests on behalf of more than 400 institutional investors, including public and private pension plans, insurance companies, banks, endowments and foundations.

*This figure includes assets subject to discretionary or non-discretionary management, advice or those limited to a reporting function.

Balter Liquid Alternatives

Balter Liquid Alternatives (BLA) is a subsidiary of Balter Capital Management, a boutique firm focused on hedge fund research and investing. BLA was formed to create and manage daily liquidity alternative mutual funds. Balter Capital Management oversees approximately $1.2 billion in hedge fund and alternative mutual fund assets. BLA constructs liquid investment products utilizing existing hedge fund managers.

Behringer

Behringer creates, manages and distributes specialized investments through a multi-manager approach that presents unique options for allocating capital, managing risk and diversifying assets. Investments sponsored and managed by the Behringer group of companies have invested into more than $11 billion in assets.

For more information, call toll-free 866.655.3600 or visit behringerinvestments.com

Boston Partners

Founded in 1995, Boston Partners manages investment strategies focused on security selection and firmly rooted in fundamental research. Long/Short investing is a focus of the organization having managed long/short mutual funds since 1998. Today the firm manages approximately $8 billion in assets across 3 funds. The key tenant of our approach is offering two independent sources of return each that add value for both the long and short portfolios.

Brinker Capital, Inc.

Since 1987, Brinker Capital has innovated based on creative ideas generated from actively listening to the needs of financial advisors and investors. Their highly strategic, disciplined investment process is the key to making their ideas successful and helping to achieve better outcomes for advisors and their clients.

BTS Asset Management

Founded in 1979, BTS Asset Management is one of the oldest unconstrained fixed income managers, providing quantitative risk management solutions. BTS has multi-year track records in tactical fixed income and equity management. They have combined traditional and non-traditional portfolio theories to find opportunities with the potential to take advantage of rising markets while working to manage losses during downturns.

CAIA Association

The Chartered Alternative Investment Analyst (CAIA) Association is the world leader in alternative investment education. CAIA programs include the CAIA Charter® and the Fundamentals of Alternative Investments Certificate Program®. For more information, please visit CAIA.org.

CNL Securities

CNL Securities is a leader in alternative investment solutions and has served the broker-dealer community for more than 30 years. Our extensive experience, quality products and comprehensive advisor resources help financial advisors meet their client’s investment goals. We pride ourselves on the products we distribute, the partnerships we build and our record of performance.

Cole Capital

Cole Capital® is an industry-leading non-listed real estate investment trust (REIT) sponsor that develops and distributes innovative net-lease real estate products serving individual investors and financial professionals. Built on more than 35 years of experience, Cole Capital’s strategy seeks to collect rent from industry-leading corporations and provide a stream of income to investors through non-listed REITs. Please contact your Cole Capital representative at (866) 341-2653 or visit www.colecapital.com to learn more about these products and services.

The College for Financial Planning

The leading institution focused on meeting the education needs of financial services professionals, the College for Financial Planning created the Certified Financial Planner™ (CFP®) certification and have professional designations in retirement planning, asset management, and alternative investments. Flexible instructor-led/web-delivered classes featured eBooks and interactive quizzes bring the classroom to you.

www.cffpinfo.com/enc.html

Collins Capital

Since 1995, Collins Capital has specialized in delivering institutional quality alternative investment solutions. Through markets bull and bear, in portfolios big and small, Collins Capital is committed to protecting capital in market turmoil and generating compelling risk-adjusted returns over the long term.

Crystal Capital Partners

With over 20 years of hedge fund experience, Crystal Capital Partners helps you grow your advisory business with alternatives. With only $250,000 and no per-fund minimums, your clients can access over 70 institutional-quality hedge funds and invest alongside the world’s most sophisticated investors. Other services include analytical tools, due diligence, consolidated reporting, institutional safeguards, streamlined execution, advisor support and more. All services can be private labeled, and are at no cost to you. www.crystalfunds.com

The DI Wire

The DI Wire (www.thediwire.com) delivers the advisor-sold, non-traded Direct Investment Industry a dedicated news publication that allows all levels of professionals to become more informed, better educated, and better suited to drive the industry’s continued growth.

Readers benefit from centralized coverage of non-traded REITs and BDCs, oil and gas partnerships, equipment leasing, and other direct investment programs.

The DI Wire provides tools and resources that are essential to financial advisors involved or interested in the non-traded Direct Investment Industry.

Direxion

Direction Investments is a powerfuly ally for both strategic and tactical investors. With over 17 years of experience, their highly liquid, tactical and strategic institutional-style ETFs and Mutual Funds, Direxion Investments provide a wide range of products that offer directional options, magnified exposure, and long-term rules-based strategies. They seek to compliment core investment strategies with funds that provide potential opportunities in all markets.

www.direxionfunds.com

Dividend Capital

Divdend Capital is an innovative real estate investment management firm with expertise in all aspects of the public and private real estate sectors – as investors, operators and financiers. Dividend Capital offers a wide variety of real estate options for individual and institutional investors. www.dividendcapital.com

DoubleLine

DoubleLine is an independent, employee-owned money management firm founded in 2009 by Jeffrey Gundlach. The firm offers a wide array of investment strategies run by an experienced team of portfolio managers that has worked together for many years, employing active risk management, in-depth research, and innovative product solutions. Strategies range across equities, fixed income and global macro with $63 billion under management including mutual funds, hedge funds and separate accounts as of December 31, 2014.

EJF

EJF is an SEC-registered, employee-owned alternative asset management firm headquartered outside of Washington, DC. EJF manages more than $6 billion across a diverse group of alternative asset strategies. EJF was founded in 2005 by Manny Friedman and Neal Wilson along with a small team of professionals from Friedman, Billings, Ramsey Group, Inc (“FBR”). EJF currently employs approximately 70 professionals across three offices globally (Arlington, VA, London, England and Shenzhen, China).

Equity Institutional

Equity Institutional is an industry leader in providing alternative investment custodial services to brokers, advisors and sponsors. Equity Institutional services institutional clients of Equity Trust Company. Equity Trust Company and its affiliates provide services to thousands of financial professionals and 130,000 clients with $12 billion in assets under custody. Visit www.EquityInstitutional.com for more information.

ETF.com

ETF.com is the world’s leading independent authority on exchange-traded funds, and offers investors trusted insights through its leading publications, events, analysis and data. ETF.com delivers the industry’s deepest and most insightful coverage online as well as through its newsletters, and hosts the world’s largest events focused on ETFs, including the Inside ETFs.
www.etf.com

Franklin Square

Franklin Square is a leading manager of alternative income funds designed to enhance investors’ portfolios. The firm’s funds offer “endowment-style” investment strategies that help construct diversified portfolios and manage risk. The firm manages five funds, each sub-advised by GSO/Blackstone. Learn more at franklinsquare.com.

GWG Holdings, Inc.

GWG Holdings, Inc. (NASDAQ: GWGH) is a specialty finance company and leader in the life settlement market. GWG offers short term, high yield corporate debt through its publicly registered, non-traded, $1B investment offering L Bonds. GWG’s goal is to generate financial returns for GWG’s investors and shareholders while providing valuable financial solutions to seniors.

gwglife.com

Hedgeye

Hedgeye is a bold, trusted, no-excuses provider of actionable investment research and a premier online financial media company.

The all-star research team at Hedgeye is unafraid of rocking the boat and is committed to delivering the highest caliber investment ideas through rigorous quantitative, bottom-up and macro analysis with an emphasis on timing.

Horizon Kinetics

Founded in 1994, Horizon Kinetics LLC is an employee owned and operated investment boutique based in New York. They adhere to long-term independent, fundamental research which often takes contrarian views to capitalize on the short-term focus of the marketplace. They manage $9.2B in assets including $0.5B in liquid alternative strategies.

Horizons ETFs Group

The Horizons ETFs Group consists of innovative financial services companies offering regional families of ETFs in Canada, the United States, Korea, Hong Kong, Australia and Columbia. With approximately $8.6 billion in assets under management and 141 ETF listings worldwide, the Horizons ETFs Group makes up one of the largest collective families of ETFs in the world. All of the Horizons ETFs Group companies and affiliates are subsidiaries of Mirae Asset Global Investments Co., Ltd. USA products distributed by Foreside Fund Services, LLC.

iCapital Network

iCapital Network is an online private equity marketplace for registered investment advisors, family offices and high-net-worth individuals. The state-of-the-art platform provides qualified institutions and individuals with powerful research tools, turnkey diligence support and access to a selection of high-demand private equity funds at low minimums. Visit www.icapitalnetwork.com for more information or to register for free.

Iron Financial

IRON Financial, LLC is an independent asset management firm with deep expertise in delivering liquid alternatives with absolute returns to investors, combined with boutique-level service.

Founded in 1994, IRON Financial has successfully managed a series of liquid alternative and enhanced return strategies for financial intermediaries.

For more information about IRON Financial, visit www.ironfinancial.com.

Jackson

Jackson National Life Insurance Company® (Jackson®) is one of America’s leading providers of variable, fixed and fixed index annuities. Jackson started offering alternatives in 2005 — before the market meltdown and before alternative investing became news. Since then, they’ve become a leading distributor of alternative investments in the annuity market. For more information, visit www.myeliteaccess.com and www.jackson.com .

JCR Capital

JCR Capital is a middle market commercial real estate finance company. JCR provides capital up and down the capital structure.

JCR Capital focuses on value-added, opportunistic, and distressed transactions via a finance strategy. JCR Capital uses a fund model and management accounts to make its investments.

This strategy provides JCR’s investors excellent risk-adjusted returns, which includes current pay, high teen IRRs, with profits and principal distributed throughout the investment term, all over a short duration.

Larkin Point

Larkin Point Investment Advisors LLC is an asset management firm and investment adviser registered with the Securities and Exchange Commission. The Larkin Point Solution seeks to capture growth in bull markets, protect and preserve gains in down markets, and generate income in all markets in an attempt to cover the cost of protection and add to total return.

Larkin Point provides solutions for wealth managers and financial advisors. Larkin Point was founded by Michael Winchell, and is based in Rumson, NJ.  www.larkinpoint.com

Litman Gregory Asset Management

With over 25 years of manager selection and asset allocation experience, Litman Gregory’s core expertise is intensive research. Advisors can access this expertise through the Litman Gregory Portfolio Strategies, AdvisorIntelligence, and the Litman Gregory manages or directs over $10 billion in assets through their affiliated companies (as of 12/31/14).
www.LitmanGregory.com

Little Harbor Advisors, LLC

Little Harbor Advisors, LLC, is an investment adviser focused on the development and management of innovative multi-strategy alternative investment vehicles called “Composites.” The term “Composite” refers to an investment structure with a dedicated investment thesis that acts as a seamless portal into the established investment programs of independently managed hedge fund strategies.

LJM Partners

For over sixteen years, LJM Partners has managed and specialized in volatility strategies. Their liquid strategies provide alternative solutions to traditional investment portfolios. LJM strategies aim to diversify traditional equity portfolios, deliver low correlation to equity markets, and to target lower standard deviation returns to increase overall portfolio returns.

LMCG Funds

LMCG Fund’s Adviser is LMCG Investments, LLC (LMCG), a $6.5 billion multi-strategy boutique investment firm. The leadership has a history of working together and provided trading, settlement, and operation expertise for strategies invested in over 40 countries for long only, alternatives, fixed income and equity based strategies.

www.lmcgfunds.com

Milennium Trust Company

Millennium Trust Company is a leading financial services company offering niche alternative custody solutions. They serve as a complement to services offered by other custodians. Their innovative solutions include rollover solutions, alternative asset custody, private fund custody and advisor support services. www.mtrustcompany.com

Northern Lights Distributors

Northern Lights Distributors, LLC helps you navigate the distribution universe. They serve as an advocate for their clients’ products by collaborating with financial intermediaries and partners. This collaboration includes connecting advisers and intermediaries to the compelling, independent mutual funds in the Northern Lights Fund Trusts and Two Roads Shared Trust.

NSR Invest

We provide intelligent access to peer-to-peer marketplaces through our two product families: private funds, and managed accounts. Our underwriting is sophisticated, smart, and uses the finest tools of the trade to expertly build and manage your clients’ portfolios. Our state-of-the-art technology connects directly to major reporting systems for integrated portfolio management.

The Options Industry Council

The Options Industry Council (OIC) is an educational organization funded by the nation’s options exchanges and OCC dedicated to helping individual investors, financial advisors and institutions understand the benefits and risks of exchange-traded options. For more information, visit: OptionsEducation.org

Principal Funds

Principal Funds delivers global investment management, asset allocation expertise, and retirement leadership. Principal Funds, which utilizes many leading sub-advisors in the management of its funds, is one of the largest lifecycle fund managers and a leading retirement solutions provider.

ProShares

With the nation’s largest lineup of alternative ETFs, ProShares helps investors build better portfolios by providing alternatives to help reduce volatility, manage risk and enhance returns delivered with an ETF’s liquidity, transparency and cost effectiveness.

RiverNorth

RiverNorth is a Chicago-based investment management firm founded in 2000 that specializes in opportunistic investment strategies. RiverNorth focuses on strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the investment adviser to RiverNorth Funds and General Partner of multiple limited partnerships.

RS Investments

At RS Investments, they move our clients forward. Together, they pursue consistent returns that draw on the right mix of critical thinking, deep research, and quantitative analysis. They are domain experts, not generalists, and that knowledge helps them deliver better outcomes for their clients. Their goal is to provide the long-term returns our clients expect to help them see further, plan smarter, and move forward.

Salient

Clients have entrusted Salient with $21.3 billion of their capital, which they invest and advise across a broad spectrum of traditional and alternative investments. Their approach consists of an emphasis on risk management, research-driven investment process, and a focus on a cost-efficient investment implementation. Experience tells them that this approach may be one of the best ways to help their clients achieve their financial objectives.

SC Distributors

SC Distributors is a premier distribution platform for select alternative investment products. The company aligns itself with leading alternative investment sponsors that have a demonstrated history of success that can help design and deliver what it believes are fully differentiated, high quality investment products. Through a demonstrated financial services wholesale distribution model, SC Distributors delivers these products to financial advisors.

Schooner Investment Group

Schooner Investment Group provides investment management services to institutions and financial intermediaries that are seeking to preserve and build capital with a focus on sustainable, risk reducing investment strategies. The Firm manages mutual funds, with a focus on liquid alternative funds, separate accounts, and private investment funds. Schooner advises the Schooner Fund (Tickers: SCNAX, SCNIX) a hedged-equity mutual fund. www.schoonerfunds.com

Sprott Asset Management

 

Sprott Asset Management is a Toronto-based alternative asset manager that offers mutual funds, alternative strategies, physical bullion trusts, tax-efficient funds and other products to Canadian and international investors. The firm’s team of investment professionals is committed to delivering outstanding long-term returns to its clients and investors. The best-in-class team includes renowned portfolio managers, market strategies, technical experts and analysts.

TD Ameritrade Institutional

TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,500 fee-based, independent Registered Investment Advisors and their clients. Their advanced technology platform and outstanding personal support allows advisors to run their businesses more efficiently and optimize time spent with clients.

TD Ameritrade Institutional, Division of TD Ameritrade, Inc, member FINRA/SIPC

Tortoise Capital Advisors, LLC

Montage Investments provides institutional-caliber investments to investors and the financial professionals who serve them, through a family of independent asset managers. The largest, Tortoise Capital Advisors, is an investment manager specializing in listed energy investments that span the energy value chain.

Voya Investment Management

Voya Investment Management (Voya IM) is a leading active asset management firm. As of December 31, 2014, Voya IM manages approximately $213 billion* for affiliated and external institutions as well as individual investors. Drawing on over 40 years of experience and an ongoing commitment to reliable investing, Voya IM has the resources and expertise to help long-term investors achieve strong investment results.

Wells Fargo

Wells Fargo Advantage Funds guides institutions, financial advisors, and individuals through the investment terrain to help them reach their financial objectives. Everything we do is built on the integrity and service established by Wells Fargo & Company; the expertise of our independent investment teams; and our collaborative level of service.

Westchester Capital Management

Westchester Capital Management (WCM) is a registered investment adviser focusing on delivering innovative event-driven investment strategies to financial advisers and their high-net-worth clients. WCM, well known as the investment manager of The Merger Fund®, manages approximately $6.0 billion in assets through a variety of vehicles, including mutual funds, hedge funds, UCITS funds and variable insurance products. More information regarding WCM and the funds managed can be found at www.westchestercapitalfunds.com.

Whitebox Mutual Funds

Whitebox Advisors is a registered investment advisor to private investment funds as well as mutual funds. Seek asymmetric upside potential and limited risk, Whitebox maintains a long-term focus on capital appreciation over time. The firm is guided by 10 investment principles, the first of which is “The source of investment return is the efficient reduction of risk.”

WHV Investments

WHV Investments is a multi-boutique asset manager with offices in San Francisco, Seattle, and Denver. They engage exceptional investment teams worldwide to create compelling investment strategies for their clients, focusing on a variety of equity and alternative credit asset classes.




Media Partners

Daily Alts

Investor’s Business Daily

Founded in 1984 by investor and entrepreneur William J. O’Neil, Investor’s Business Daily (IBD®) provides individual and professional investors essential market-timing analysis, top performing lists and proprietary ratings to help them identify true market leaders. The information is delivered through their leading-edge investing products and innovative investor education programs. IBD created the world’s first stock database in the 1960’s to compare and rate stocks based on performance criteria to find emerging leadership. Today IBD tracks data on over 8,000 publicly traded companies and is used by over 600 institutional investors worldwide.

www.investors.com

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FAQ

What is the dress code for the conference?
The attire for the conference is business casual. No shorts or t-shirts.

What is the cancellation policy?
If you are unable to attend, you may replace your registration with a substitute delegate at no extra cost. Should you completely cancel, notification must be submitted in writing by June 21, 2015. Cancellations received by June 21, 2015 will be subject to a $50 administrative fee. No cancellation refunds/requests will be accepted after June 21, 2015.

In the event the conference is cancelled, Charter Financial Publishing Network (CFPN) assumes no liability for non-refundable transportation costs, hotel accommodations or any additional costs incurred by registrants. CFPN reserves the right to alter the agenda without notice including the substitution or cancellation of speakers and/or topics.

What time does registration open on Monday, July 13?
Attendee registration opens at 7:00 a.m. on Monday. Sponsor registration will be open on Sunday, July 12th from 2:00-5:00pm.

Can I register on-site on the day of the conference?
Yes, however we encourage you to register beforehand.

How will continuing education hours be credited?
Forms will be available at registration, all attendees are to self-report the program for credit

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Registration

After June 15, Advisor registration will be $149 and Non-Advisor Registration will be $1195.

 

For inquiries on registration please contact:
Linda Dunn,

(732) 450-8866
ext. 36
ldunn@fa-mag.com

 

Important Information For All Conference Registrants (attendees, sponsors and speakers):
It has come to our attention that a company called Exhibition Housing Services has been systematically contacting our sponsors, speakers and attendees in an attempt to mislead them into believing that our Conference room block (and discounted rates) are no longer available. This company then tries to secure a credit card number, claiming they can book rooms for our registrants at other nearby hotels. This is a fraud. Please disregard any communications from Exhibition Housing Services, or other similar entities, and contact Linda Dunn, conference coordinator at Financial Advisor magazine with any questions or concerns.

Conference Cancellation Policy
If you are unable to attend, you may replace your registration with a substitute delegate at no extra cost. Should you completely cancel, notification must be submitted in writing at least 45 days prior to the event. No cancellation refunds/requests will be accepted within 45 days of the event.

In the event the conference is cancelled, the producer assumes no liability for non-refundable transportation costs, hotel accommodations or any additional costs incurred by registrants. The Conference producer reserves the right to alter the agenda without notice including the substitution or cancellation of speakers and/or topics.

Details of the Conference provided on this website and in other materials is for your general information and use only. It is subject to change without notice.

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Speaking/Sponsorship Opportunities

If you're interested in speaking or sponsorship opportunities please contact:

David Smith, EVP,
Group Publisher
(732) 450-8866
ext. 26
dsmith@fa-mag.com

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Press Inquiries

For inquiries on registration or hotel information please contact:

Linda Dunn
(732) 450-8866
ext. 36
linda@fa-mag.com

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